Overview
Each year, FINRA provides firms with the information they may need to include in their compliance programs. This compliance course will provide an overview of the rules and obligations of firm operations covering firm short positions and fails to receive in municipal securities and trusted contacts and positions of trust.
Learning Objectives
- understand compliance obligations regarding firm short positions and fails to receive in municipal securities
- recognize the importance and requirements of trusted contacts
Designed For
Registered Representatives
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License or Certification
Regulator
Type